1804.170
Contract effective date.
(a) "Contract effective date" means
the date agreed upon by the parties for beginning the period of performance
under the contract. In no case shall the
effective date precede the date on which the contracting officer or designated
higher approval authority signs the document.
(b) Costs
incurred before the contract effective date are unallowable unless they qualify
as precontract costs (see FAR 31.205-32) and
the clause prescribed at 1831.205-70 is used.
Subpart 1804.2--Contract Distribution
1804.202
Agency distribution requirements.
In addition to the
requirements in FAR 4.201, the contracting officer shall distribute one copy of
each R&D contract, including the Statement of Work, to the NASA Center
for AeroSpace Information (CASI), Attention: Acquisitions Collections
Development Specialist, 7115
Standard Drive, Hanover, MD 21076-1320.
1804.203
Taxpayer identification information.
Instead of using the last page of the
contract to provide the information listed in FAR 4.203, NASA installations may
allow contracting officers to use a different distribution method, such as
annotating the cover page of the payment office copy of the contract.
Subpart 1804.4--Safeguarding Classified Information Within
Industry
1804.402 General.
(b) NASA
security policies and procedures are prescribed in NPD 1600.2A, NASA Security
Policy; NPR 1620.1, Security Procedural Requirements; NPR 2810.1 and NPD 2810.1
Security of Information Technology.
1804.404-70 Contract clause.
The contracting officer shall insert the
clause at 1852.204-75,
Security Classification Requirements, in solicitations and contracts if work to
be performed will require security clearances.
This clause may be modified to add instructions for obtaining security
clearances and access to security areas that are applicable to the particular
acquisition and installation.
1804.470
Security requirements for unclassified information technology resources.
1804.470-1
Scope.
This section implements NASA's acquisition‑related
aspects of Federal policies for assuring the security of unclassified automated
information resources. Federal policies
include, but are not limited to, the Computer Security Act of 1987 (40 U.S.C.
1441 et seq.), the Clinger-Cohen Act of 1996 (40 U.S.C. 1401 et seq.), Public
Law 106-398, section 1061, Government Information Security Reform, OMB Circular
A-130, Management of Federal Information Resources, and the National Institute
of Standards and Technology security guidance and standards.
1804.470-2
Policy.
(a) NASA policies and procedures on security
for automated information technology are prescribed in NPD 2810.1,
Security of Information Technology, and in NPR 2810.1, Security of Information Technology. The provision of information technology (IT)
security in accordance with these policies and procedures, is required in all
contracts that include IT resources or services in which a contractor must have
physical or electronic access to NASA's sensitive information contained in
unclassified systems that directly support the mission of the Agency. This
includes information technology, hardware, software, and the management,
operation, maintenance, programming, and system administration of computer
systems, networks, and telecommunications systems. Examples of tasks that
require security provisions include:
(1)
Computer control of spacecraft, satellites, or aircraft or their
payloads;
(2)
Acquisition, transmission or analysis of data owned by NASA with
significant replacement costs should the contractor’s copy be corrupted; and
(3)
Access to NASA networks or computers at a level beyond that granted the
general public, e.g. bypassing a firewall.
(b) The contractor must not use or
redistribute any NASA information processed, stored, or transmitted by the
contractor except as specified in the contract.
1804.470-3
Security plan for unclassified Federal Information Technology systems.
(a) The requiring activity with the
concurrence of the Center Chief Information Officer (CIO), and the Center
Information Technology (IT) Security Manager, must determine whether an IT
Security Plan for unclassified information is required.
(b) IT
security plans must demonstrate a
thorough understanding of NPR 2810.1 and NPD 2810.1 and must include, as a
minimum, the security measures and program safeguards planned to ensure that
the information technology resources acquired and used by contractor and
subcontractor personnel --
(1) Are protected from unauthorized access,
alteration, disclosure, or misuse of information processed, stored, or
transmitted;
(2)
Can maintain the continuity of automated information support for NASA
missions, programs, and functions;
(3)
Incorporate management, general, and application controls sufficient to
provide cost-effective assurance of the systems' integrity and accuracy;
(4)
Have appropriate technical, personnel, administrative, environmental,
and access safeguards;
(5)
Document and follow a virus protection program for all IT resources
under its control; and
(6)
Document and follow a network intrusion detection and prevention program
for all IT resources under its control.
(c) The contractor must be required to
develop and maintain an IT System Security Plan, in accordance with NPR 2810.1,
for systems for which the contractor has primary operational responsibility on
behalf of NASA.
(d) The contracting officer must obtain the
concurrence of the Center Chief of Security before granting any contractor
requests for waiver of the screening requirement contained in the clause at 1852.204‑76.
1804.470-4
Contract clauses.
PART 1835
RESEARCH AND DEVELOPMENT CONTRACTING
TABLE OF
CONTENTS
1835.003 Policy.
1835.010
Scientific and technical reports.
1835.011 Data.
1835.015 Contracts
for research with educational institutions and nonprofit
organizations.
1835.016 Broad
agency announcements.
1835.016-70 Foreign participation under broad
agency announcements (BAAs).
1835.016-71 NASA
Research Announcements.
1835.016-72 Foreign
participation in NRA proposals.
1835.070 NASA
contract clauses and solicitation provision.
1835.071 NASA Research and Development
(R&D) Contract Reporting.
PART 1835
RESEARCH AND
DEVELOPMENT CONTRACTING
1835.003
Policy.
See NPR
5800.1, Grant and Cooperative Agreement Handbook, for
policy regarding the use of grants and cooperative agreements.
1835.010 Scientific and technical reports.
(a)(i) Final Reports. Final
reports must be furnished by contractors for all R&D contracts. The final report should summarize the results
of the entire contract, including recommendations and conclusions based on
the experience and results obtained. The
final report should include tables, graphs, diagrams, curves, sketches, photographs,
and drawings in sufficient detail to explain comprehensively the results
achieved under the contract. The final report should comply with formatting and
stylistic guidelines contained in NPR 2200.2, Requirements for Documentation,
Approval, and Dissemination of NASA Scientific and Technical Information. Electronic formats for submission of reports
should be used to the maximum extent practical.
When reports are submitted electronically, the contracting officer
should also request the submission of a paper copy of the report that could be
used to validate items such as math and symbols that can be transposed due to
font substitution or other electronic transmission problems. Information regarding appropriate
electronic formats for final reports is available from center STI/Publications
Managers or the NASA Center for AeroSpace Information (CASI) at
http://www.sti.nasa.gov under “Publish STI – Electronic File Formats.”
(ii) In addition to the final report submitted to the
contracting officer, the contractor shall
concurrently provide CASI and the center STI/Publications Manager with a copy
of the letter transmitting the final report to the contracting officer.
(iii) It is NASA policy
to provide the widest practicable and appropriate dissemination of scientific
and technical information (STI) derived from NASA activities, including that
generated under NASA research and development contracts. One mechanism for disseminating NASA STI is
through CASI. Before approving a final
report delivered under a contract for inclusion in the CASI repository, NASA
must complete a document availability authorization (DAA) review. The DAA review is intended to ensure that
NASA disseminates NASA STI in a manner consistent with U.S. laws and regulations, federal
information policy and publication standards, intellectual property rights,
technology transfer protection requirements, and budgetary and technological
limitations. NASA Form 1676, NASA Scientific and Technical Document
Availability Authorization (DAA), or a center-specific version of this form, is
used to complete this review. The DAA
review process applies to the publication and dissemination of NASA STI by NASA
or under the direction of NASA. The
final report, as delivered under the contract, must not be released outside of
NASA until NASA’s DAA review has been completed and the availability of the
document has been determined by NASA.
(iv)
Additional reports of work. In addition
to the final report required by paragraph (a)(i) of this section, the contracting officer, in consultation with
the program or project manager, should consider the desirability of requiring
periodic reports and reports on the completion of significant units or phases
of work for monitoring contract performance.
Any additional reports must be included in the clause at 1852.235-74 as
a contract deliverable. (See FAR 27.403.)
(v)
Upon receipt of the final report, or any additional reports required by
1852.235-74 if included in the contract, the contracting officer shall forward
the reports to the contracting officer’s technical representative (COTR) for
review and acceptance. The COTR shall
ensure that the DAA review is initiated upon acceptance of the final report or
any additional reports that NASA elects to publish or release outside of NASA
or present at internal meetings at which foreign nationals may be present. Upon completion of the DAA review, the COTR
shall ensure that the DAA-approved STI and the original approved DAA form are
sent to the center STI/Publication Manager.
The contractor should be advised of the final availability
determination. These responsibilities
should be included in the COTR Delegation, NASA Form 1634.
(b) The final report shall include a
completed Report Documentation Page, Standard Form (SF) 298, as the final page
of the report.
1835.011
Data.
(a) In addition to any reports required by
1835.010, the contracting officer shall specify what additional data, (type, quantity,
and quality) is required under the contract, for example, presentations,
journal articles, and seminar notes.
(See FAR 27.403.)
1835.015 Contracts
for research with educational institutions and nonprofit organizations.
(a)(1)(iv) The research contract shall include a
requirement that the contractor obtain the contracting officer's approval when
it plans to continue the research work during a continuous period in excess of
3 months without the participation of an approved principal investigator or
project leader.
1835.016 Broad agency announcements.
(a)(i) The
following forms of broad agency announcements (BAAs) are authorized for use:
(A) Announcements of Opportunity
(see 1872).
(B) NASA
Research Announcements (see 1835.016-71).
(C) Other forms of announcements approved by
the Assistant Administrator for Procurement (Code HS).
(ii)
Other program
announcements, notices, and letters not authorized by paragraph (a)(i) of
this section shall not be used to solicit proposals that may result in
contracts.
(iii)
Draft or final versions of any form of BAA that directly or substantially
supports a program subject to NASA Procedures and Guidelines (NPR) 7120.5 shall
not be released unless --
(A) All applicable NPR 7120.5 required
documentation (see 1804.7301(b)(2)(i)) is current and has been approved (e.g.,
Formulation Authorization Document, Program Commitment Agreement, Program Plan,
or Project Plan); or
(B) Authority to proceed without the required
documentation has been granted by the Chair of the Governing Program Management
Council or designee.
(c) BAAs may not preclude the participation of any
offeror capable of satisfying the Government's needs unless a justification for
other than full and open competition is approved under FAR 6.304.
1835.016-70
Foreign participation under broad agency announcements (BAAs).
(a) Policy.
(1) NASA seeks the broadest participation
in response to broad agency announcements, including foreign proposals or
proposals including foreign participation.
NASA’s policy is to conduct research with foreign entities on a
cooperative, no-exchange-of-funds basis (see NPD 1360.2,
Initiation and Development of International Cooperation in Space and
Aeronautics Programs). NASA does not
normally fund foreign research proposals or foreign research efforts that are
part of U.S.
research proposals. Rather, cooperative
research efforts are implemented via international agreements between NASA and
the sponsoring foreign agency or funding/sponsoring institution under which
the parties agree to each bear the cost of discharging their respective
responsibilities.
(2) In accordance with the National Space
Transportation Policy, use of a non-U.S. manufactured launch vehicle is
permitted only on a no-exchange-of-funds basis.
(3) NASA
funding may not be used for subcontracted foreign research efforts. The direct purchase of supplies and/or
services, which do not constitute research, from non-U.S. sources by U.S.
award recipients is permitted.
(b) Procedure. When a foreign proposal or a U.S.
proposal with foreign participation is received in response to a BAA, the NASA
sponsoring office shall determine whether the proposal conforms to the
no-exchange-of-funds policy in 1835.016-70(a).
(1) If the proposal conforms to the
policy in 1835.016-70(a), the NASA sponsoring office shall evaluate the
proposal and make selection in accordance with 1835.016-71(d). In conjunction with the notification of successful
foreign proposers, the NASA sponsoring office shall notify the Headquarters
Office of External Relations, Code I.
Code I will negotiate the agreement with the sponsoring foreign agency
or funding institution for the proposed participation.
(2) If the proposal does not conform to
the policy in 1835.016-70(a), the NASA sponsoring office shall:
(i) Determine
whether the proposal merits further consideration;
(ii) If further consideration is warranted, refer
the proposal to Code I; and
(iii) Complete the evaluation of the
proposal. However no notification of
selection, whether tentative or final, shall be made without Code I
approval.
(3) Notification to Code I required by
paragraphs (b)(1) and (b)(2)(ii) of this section, shall address the items
contained in 1872.504(c), and shall be coordinated
through the Office of Procurement, Code HS.
1835.016-71 NASA Research Announcements.
(a) Scope. An NRA is used to announce research interests
in support of NASA’s programs, and, after peer or scientific review using
factors in the NRA, select proposals for funding. Unlike an RFP containing a statement of work
or specification to which offerors are to respond, an NRA provides for the submission
of competitive project ideas, conceived by the offerors, in one or more
program areas of interest. An NRA shall
not be used when the requirement is sufficiently defined to specify an end
product or service.
(b) Issuance.
(1)
Before issuance, each field-generated NRA shall be approved by the installation
director or designee, with the concurrence of the procurement officer, and
each Headquarters-generated NRA shall be approved by the cognizant Program
Associate Administrator or designee, with the concurrence of the Headquarters
Offices of General Counsel (Code GK) and Procurement (Code HS). In addition, the issuing office shall obtain input from the cognizant offices responsible
for matters of safety and mission assurance, occupational health, environmental
protection, information technology, export control, and security. Input shall also be obtained from the
appropriate systems safety organization for NRA's that may involve potentially
hazardous operations such as those related to flight and/or mission critical
ground systems. The NRA approval
authority shall designate the selection official.
(2)
The selection official shall assure that the NRA is synopsized prior to
issuance in accordance with FAR 5.201. The
synopsis shall be brief, and the technical section describing the area of
interest should not exceed 50 words.
(3) If a Headquarters-generated NRA may result in
awards by a NASA field installation, the issuing office shall notify the
installation procurement officer and provide a copy of the NRA.
(4)
The selecting official is responsible for the preparation and distribution of
the NRA.
(5) NRAs normally shall remain open for at least
90 days.
(c) Content.
The NRA shall consist of the
following sections and items. The entire
package shall be provided in response to requests.
(1) Cover. The
cover shall display:
(i) "OMB Approval Number 2700-0087" in
the upper right corner.
(ii) Title.
(iii) "NASA Research Announcement Soliciting
Research Proposals for the Period
Ending ".
(iv) NRA number.
(v) Official address for the office issuing the
NRA.
(2) Summary and Supplemental Information.
(i) The Summary and Supplemental Information
should not exceed two pages and shall include:
(A) Title and NRA number.
(B) The following statement concerning safety:
"
Safety is the freedom from those conditions that can cause death, injury,
occupational illness, damage to or loss of equipment or property, or damage to
the environment. NASA's safety priority
is to protect: (1) the public, (2)
astronauts and pilots, (3) the NASA workforce (including employees working
under NASA award instruments), and (4) high-value equipment and property.
(C)
Introductory paragraphs describing the purpose of the NRA and the period for
receipt of proposals.
(D) Address for submitting proposals.
(E)
Number of copies required.
(F)
Selecting official's title.
(G)
Names, addresses, and telephone numbers for the technical and contracting
points of contact.
(H)
The following statement when the NRA is to be issued before funds are
available:
"Funds
are not currently available for awards under this NRA. The Government's obligation to make award(s)
is contingent upon the availability of appropriated funds from which payment
can be made and the receipt of proposals that NASA determines are acceptable
for award under this NRA."
(ii) The Summary and Supplemental Information may
include estimates of the amount of funds that will be available and the number
of anticipated awards. A breakdown of
the estimates by research area may also be shown.
(3) Technical Description. The first page shall contain the NRA number
and title at the top. A brief
description not exceeding two pages is preferable, but it should be detailed
enough to enable ready comprehension of the research areas of interest. Specifications containing detailed statements
of work should be avoided. Any program
management information included must be limited to matters that are essential
for proposal preparation.
(4) Instructions for Responding to NASA Research
Announcements. The NRA shall contain instructions as stated in 1852.235-72 (see 1835.070(c)).
(d) Receipt
of proposals, evaluation, and selection.
(1)
Proposals shall be protected as provided in FAR 15.608, FAR
15.609, and 1815.609-70.
(2) Late proposals and modifications shall be
treated in accordance with 1815.208.
(3)
The selection decision shall be made following peer or scientific review of a
proposal. Peer or scientific review
shall involve evaluation by an in-house specialist, a specialist outside NASA,
or both. Evaluation by specialists
outside NASA shall be conducted subject to the conditions in 1815.207. After receipt of a proposal and before selection,
scientific or engineering personnel shall communicate with an offeror only for
the purpose of clarification (as defined in FAR
15.306), or
to understand the meaning of some aspect of the proposal that is not clear, or
to obtain confirmation or substantiation of a proposed approach, solution, or
cost estimate.
(4)
Competitive range determinations shall not be made, and final proposal
revisions shall not be requested.
(5)
Part of a proposal may be selected unless the offeror requests otherwise. In addition, changes to a selected proposal
may be sought if (i) the ideas or other
aspects of the proposal on which selection is based are contained in the
proposal as originally submitted, and are not introduced by the changes;
and (ii) the changes sought would not
involve a material alteration to the requirements stated in the NRA. Changes that would affect a proposal's
selection shall not be sought. When
changes are desired, the selecting official may request revisions from the
offeror or request the contracting officer to implement them during
negotiations with the successful offeror(s). The changes shall not transfer
information from one offeror's proposal to another offeror (see FAR 15.306(e). When collaboration between offerors would
improve proposed research programs, collaboration may be suggested to the
offerors.
(6)
The basis for selection of a proposal shall be documented in a selection statement
applying the evaluation factors in the NRA.
The selection statement represents the conclusions of the selecting
official and must be self-contained. It
shall not incorporate by reference the evaluations of the reviewers.
(7)
The selecting official shall notify each offeror whose proposal was not selected
for award and explain generally why the proposal was not selected. If requested, the selecting official shall
arrange a debriefing under FAR 15.5, with the participation of a contracting officer.
(8) The selecting official shall forward to the
contracting officer the following information:
(i) A
copy of the NRA (This requirement may
be waived in the case of a grant award at the discretion of the grant officer);
(ii) The results of the technical evaluation,
including the total number of proposals received, the selection statement, and
the listing of proposal(s)
selected for funding (These
requirements may be waived in the case of a grant award at the discretion of
the grant officer if the purchase request specifically references the NRA
number and states that the proposal forwarded for funding was selected under
the NRA.);
(iii) A description of any changes desired in any
offeror's statement of work, including the reasons for the changes and any
effect on level of funding;
(iv) If a contract will be used to fund the
proposal, a description of deliverables, including technical reports, and
delivery dates, consistent with the requirements of the NRA;
(v) A procurement request;
(vi) Comments on the offeror's cost proposal
(either the selecting official's comments, which may be based on the
reviewers' comments, or copies of the reviewers' comments with any different
conclusions of the selecting official); these comments shall address the need
for and reasonableness of travel, computer time, materials, equipment,
subcontracted items, publication costs, labor hours, labor mix, and other
costs; and
(vii)
A copy of the selected proposal as originally submitted, any revisions, and
any correspondence from the successful offeror.
(9)
The selecting official may provide to the contracting officer copies of the
reviewers' evaluations. Reviewers' names
and institutions may be omitted.
(10)
The selecting official may provide each offeror whose proposal was selected for
negotiation a notification stating:
(i) The proposal has been selected for
negotiation;
(ii) The offeror's business office will be
contacted by a contracting officer, who is the only official authorized to
obligate the Government; and
(iii) Any costs incurred by the offeror in anticipation
of an award are at the offeror's risk.
(e) Award. The contracting officer shall choose the appropriate award
instrument. If a contract is selected,
the contracting officer shall --
(1)
Advise the offeror that the Government contemplates entering into negotiations;
the type of contract contemplated; and the estimated award date, anticipated
effort, and delivery schedule;
(2)
Send the offeror a model contract, if necessary, including modifications contemplated
in the offeror's statement of work, and request agreement or identification of
any exceptions (the contract statement of work may summarize the proposed
research, state that the research shall be conducted in accordance with certain
technical sections of the proposal (which shall be identified by incorporating
them into the contract by reference), and identify any changes to the proposed
research);
(3) Request the offeror to complete and
return certifications and representations and Standard Form 33, Solicitation,
Offer, and Award, or other appropriate forms.
If FAR 52.219-9, Small Business Subcontracting Plan, is required
for the resultant contract, request the offeror to provide a subcontracting
plan;
(4)
Conduct negotiations in accordance with FAR Subparts 15.3 and 15.4, as applicable;
(5)
Award a contract; and
(6)
Comply with FAR Subparts 4.6 and 5.3 on contract reporting and synopses of contract
awards.
(f) Cancellation
of an NRA. When program changes,
program funding, or any other reasons require cancellation of an NRA, the office
issuing the NRA shall notify potential offerors by using the mailing list for
the NRA.
1835.016-72 Foreign participation in NRA proposals.
Foreign proposals or U.S. proposals with foreign
participation shall be treated in accordance with 1835.016-70. Additional guidelines applicable to foreign
proposers are contained in the provision at 1852.235-72, Instructions for Responding to NASA Research
Announcements.
1835.070 NASA
contract clauses and solicitation
provision.
(a) The contracting
officer shall insert the clause at 1852.235-70, Center for AeroSpace
Information, in all research and development contracts, and interagency agreements and cost-reimbursement supply
contracts involving research and development work.
(b) The contracting
officer shall insert the clause at 1852.235-71, Key Personnel and Facilities,
in contracts when source selection has been substantially predicated upon the
possession by a given offeror of special capabilities, as represented by key
personnel or facilities.
(c) The
contracting officer shall ensure that the provision at 1852.235-72,
Instructions for Responding to NASA Research Announcements, is inserted in all
NRAs. The instructions may be
supplemented, but only to the minimum extent necessary.
(d) The
contracting officer shall insert the clause at 1852.235-73, Final Scientific
and Technical Reports, in all research and development contracts, and in interagency agreements and cost-reimbursement supply contracts
involving research and development work.
(1)
The contracting officer, after consultation with and concurrence of the program
or project
manager and the center Export Control Administrator,
shall insert the clause with its Alternate I when the contract includes
“fundamental research” as defined at 22 CFR 120.11(8) and no prior review of
data, including the final report, produced during the performance of the
contract is required for export control or national security purposes before
the contractor may publish, release, or otherwise disseminate the data.
(2)
The contracting officer, after consultation with and concurrence by the program
or project manager and where necessary the center Export Control Administrator, shall insert the clause with its
Alternate II, when prior review of all data produced during the performance of
the contract is required before the contractor may publish, release, or otherwise
disseminate the data. For example, when data produced during
performance of the contract may be subject to export control, national
security restrictions, or other restrictions designated by NASA; or, to the
extent the contractor receives or is given access to data that includes
restrictive markings, may include proprietary information of others.
(e) The
contracting officer shall insert a clause substantially the same as the clause at 1852.235-74, Additional Reports
of Work -- Research and Development, in all research and development contracts, and in interagency agreements and cost-reimbursement supply contracts
involving research and development work, when periodic reports, such as monthly
or quarterly reports, or reports on the completion of significant units or
phases of work are required for monitoring contract performance. The clause should be modified to reflect the
reporting requirements of the contract and to indicate the timeframe for
submission of the final report.
1835.071
NASA Research and Development (R&D) Contract Reporting.
The E-Government Act of 2002 (Public Law No.
107-347) mandated the development and maintenance of a repository that
integrates information on R&D funded by the federal government. In support of that requirement, contracting
officers shall insert in the description field on the text tab in the Contract
Management Module (CMM) a 300-500 word summary of the statement of work for
each contract award and new work award that is funded predominantly with
R&D funds.
